Continuing Disclosure Analyst

Job Summary

Under minimal supervision, uses intermediate knowledge and skills obtained through experience and/or specialized training to perform a variety of advanced analytic and regulatory filing tasks associated with a municipal issuer's obligation to provide investors with up-to-date operational and financial information, per SEC Rule 15c2-12. Serves as a subject matter expert to others. Works independently on difficult assignments that are broad in nature requiring originality and ingenuity with appreciable latitude for un-reviewed actions or decisionsResolves or recommends solutions to complex problems and needs. Regular contact with internal customers and external municipal issuers is required.

Essential Duties and Responsibilities

• Research and analyze disclosure filings for their content as well as for inaccuracies in borrower submissions to regulators; work with clients to gather the appropriate data and perform applicable needed remediation.

• Communicate with municipal clients, and internal municipal colleagues regarding compliance with Rule 15c2-12 disclosures. Compile and review various table-based financial information, operating data, etc.

• While not a formal fiduciary, responsible for accurate and on-time delivery of designated client work as subject matter expert on the Rule and associated compliance.

Qualifications:

Knowledge, Skills, and Abilitie

Knowledge of

• Government regulation

• Municipal finance, specifically municipal bonds and note

• Fundamental business practices and concepts that impact the success and profitability of the firm

• Basic investment concepts, practices and procedures used in the securities industry

• Principles of banking and finance and securities industry operations.

• SEC Rule 15c2-12 Compliance

• Regulatory terminology, concepts, and guidance.

Skill in

• Detail orientation pertaining to preparing and/or analyzing complex financial report

• Gathering, organizing, summarizing and indexing continuing disclosure supporting documentation

• Operating standard office equipment and using required software application to produce correspondence, reports, electronic communication, and spreadsheets. Advanced proficiency in MS Excel required, database technologies (SQL Server, MySQL, Oracle) a plus.

• Effective written and oral communication of complex information

Ability to

• Use analytical and critical thinking skills in reading, interpreting, analyzing and applying information from financial documentation and references.

• Manage multiple tasks with changing priorities to meet deadlines in a fast paced environment with constant interruptions.

• Organize, manage, and track multiple detailed tasks and assignments with critical deadlines in a fast-paced work environment.

• Communicate effectively, both orally and in writing.

• Work independently as well as collaboratively within a team environment.

• Handle stressful situations and provide a high level of customer service in a calm and professional manner.

• Establish and maintain effective working relationships with others at all organizational levels.

Educational/Previous Experience Requirement

Education/Previous Experience

• Bachelor's degree and zero (0) to two (2) years of experience in a law firm or a financial planning, investment management or other financial services environment. Paralegal and/or trustee experience is a plus.

• ~OR ~

• An equivalent combination of experience, education, and/or training approved by Human Resources.

Licenses/Certifications

• Relevant securities registrations are a plu

• Paralegal certification is a plu

• Formal technical / analytic training or certifications are a plu

Raymond James Guiding Behaviors

At Raymond James our associates use five guiding behaviors (Develop, Collaborate, Decide, Deliver, Improve) to deliver on the firm's core values of client-first, integrity, independence and a conservative, long-term view.

We expect our associates at all levels to:

• Grow professionally and inspire others to do the same

• Work with and through others to achieve desired outcome

• Make prompt, pragmatic choices and act with the client in mind

• Take ownership and hold themselves and others accountable for delivering results that matter

• Contribute to the continuous evolution of the firm